RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
J••••• B•••• M••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 11, 2020 · Owings Mills, Md
- R•••••• J•••• • A••••••••• I••• national BDSep 4, 2018 to Dec 15, 2020 · Hunt Valley, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJan 17, 2017 to Sep 6, 2018 · Owings Mills, Md
- C•••••• H••• I••••••••• M••••••••• I••• otherFeb 2, 2015 to Dec 22, 2016 · Tulsa, Ok
- M•• S••••••••• I••• unclassifiedAug 27, 2008 to Feb 10, 2015 · Buffalo, Ny
- C•••• I••••••••• S••••••• C•••• formerOct 17, 2007 to Jul 2, 2008 · New York, Ny
- T• A••••••••• I••• formerDec 11, 2003 to Dec 4, 2006 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJan 13, 2003 to Oct 9, 2003 · Columbia, Md
- R•••••• J•••• • A••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Dec 15, 2020, registered Dec 11, 2020 (-4 days) · Affiliated broker-dealer or bank to another
- T• R••• P•••• A••••••• S•••••••• I••• to R•••••• J•••• • A••••••••• I•••left Sep 6, 2018, registered Sep 4, 2018 (-2 days) · RIA to affiliated broker-dealer or bank
- C•••••• H••• I••••••••• M••••••••• I••• to T• R••• P•••• A••••••• S•••••••• I•••left Dec 22, 2016, registered Jan 17, 2017 (26 days) · Other
- M•• S••••••••• I••• to C•••••• H••• I••••••••• M••••••••• I•••left Feb 10, 2015, registered Feb 2, 2015 (-8 days) · Other
- C•••• I••••••••• S••••••• C•••• to M•• S••••••••• I•••left Jul 2, 2008, registered Aug 27, 2008 (56 days) · Other
- T• A••••••••• I••• to C•••• I••••••••• S••••••• C••••left Dec 4, 2006, registered Oct 17, 2007 (317 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to T• A••••••••• I•••left Oct 9, 2003, registered Dec 11, 2003 (63 days) · Affiliated broker-dealer or bank to a newly registered adviser
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address